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Comments on NASDAQ OMX PHLX LLC (Phlx)Rulemaking

Request for Comment and Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer a Customer Rebate

(Release No. 34-71891; File No. SR-Phlx-2013-113)


Jun. 30, 2014 Letter in Response to Request for Oral Presentation
May 30, 2014 Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX, Rockville, Maryland
May 20, 2014 Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX, Rockville, Maryland
May 20, 2014 Michael Simon, Secretary, International Securities Exchange, LLC, New York, New York
May 9, 2014 Jeffrey S. Davis, Vice President, NASDAQ OMX, Rockville, Maryland
May 8, 2014 Parker M. Normann, Ph.D., Partner, Edgeworth Economics LLC, Washington, District of Columbia
Apr. 18, 2014 Jeffrey S. Davis, Vice President & Deputy General Counsel, NASDAQ OMX, Rockville, Maryland

 

Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Offer a Customer Rebate

(Release No. 34-70940; File No. SR-Phlx-2013-113)


Submitted Comments

Jan. 24, 2014 Motion for Oral Argument submitted by NASDAQ OMX PHLX LLC
Jan. 24, 2014 Joan C. Conley, Senior Vice President and Corporate Secretary, NASDAQ OMX, Rockville, Maryland
Dec. 20, 2013 Angelo Evangelou, Associate General Counsel, CBOE, Chicago, Illinois
Dec. 20, 2013 Michael J. Simon, General Counsel, International Securities Exchange LLC, New York, New York
Dec. 18, 2013 John Nagel, Esq., Managing Director and General Counsel, Citadel Securities, Chicago, Illinois
Nov. 27, 2013 Brian O'Neill, Vice President and Senior Counsel, Miami International Securities Exchange, LLC

Meetings with SEC Officials

Jan. 30, 2014 Memorandum from the Office of Commissioner Michael S. Piwowar regarding a January 30, 2014, meeting with representatives of NASDAQ OMX

 

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a Customer Rebate

(Release No. 34-70866; File No. SR-Phlx-2013-113)


Nov. 12, 2013 William O'Brien, Chief Executive Officer, Direct Edge Holdings LLC
Nov. 11, 2013 Michael J. Simon, General Counsel, International Securities Exchange LLC, New York, New York

 

http://www.sec.gov/comments/sr-phlx-2013-113/phlx2013113.shtml

Modified: 06/30/2014